Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Harney & Co Independent Financial Advisers
FRN 147308
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF4 Partner (1 Dec 2001 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Sep 2003)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.